| 11-02062 | 05/20/2013 | Claimant(s): Presbytery of New York City.
Claimant Lawyers(s): Steven N. Fuller
Respondent(s): Charles Helme, Matrix Capital Group., Pinnacle Associates Ltd
Respondent Lawyers(s): Brian A. Carlis, Howard B. Sirota
Arbitrator(s): Robert J. Kheel, Dennis M. Pape, Annamaria Boccia Smith
Hearing Site: New York, NY
|  | $0 |
| 12-00003 | 05/20/2013 | Claimant(s): Tim Welch
Claimant Lawyers(s): Tim L Welch
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Anne Reilly
Arbitrator(s): Walter J. Huntley
Hearing Site: San Francisco, CA
| | $0 |
| 11-00733 | 05/17/2013 | Claimant(s): Kendis Family Trust (A & B Trusts)
Claimant Lawyers(s): Mark D. Lammers
Respondent(s): Citigroup Global Markets., Morgan Stanley
Respondent Lawyers(s): Daren A. Luma
Arbitrator(s): Donald Dreyfus, Kenneth L. Mann, Walter Steven Schwartz
Hearing Site: Phoenix, AZ
| | $0 |
| 11-02947 | 05/17/2013 | Claimant(s): Paragon Reserve Company, Texas PGI.
Claimant Lawyers(s): Ryan K. Bakhtiari
Respondent(s): Citigroup Global Markets.
Respondent Lawyers(s): Brody W. Weichbrodt
Arbitrator(s): Preston A. Trimble, Andrea U. Calve, Joseph G. Werner
Hearing Site: Dallas, TX
| | $1,057,670 |
| 12-00123 | 05/17/2013 | Claimant(s): Judith Biss, Kenneth Biss, USA Hawaii Self Storage 14 LLC
Claimant Lawyers(s): John Owen Murrin
Respondent(s): Kenneth McDonald, Crown Capital Securities, L.P.
Respondent Lawyers(s): Craig R. Bockman
Arbitrator(s): Ralph H. Erickson, Elliott David Finkel, Robert A. Lombardi
Hearing Site: Los Angeles, CA
| | $0 |
| 12-00211 | 05/17/2013 | Claimant(s): John Accardi
Claimant Lawyers(s): John Accardi
Respondent(s): David Hess, Charles Schwab & Co.., Robert Oberlander
Respondent Lawyers(s): Audette P. Morales
Arbitrator(s): Robert Dean McKinley
Hearing Site: Los Angeles, CA
| | $0 |
| 12-01383 | 05/17/2013 | Claimant(s): Harvest & Rowe. Retirement Plan
Claimant Lawyers(s): Brett A. Alcala
Respondent(s): Allison Rowe, Charles Schwab & Co..
Respondent Lawyers(s): Anthony L. Valenzuela, Brett A. Alcala
Arbitrator(s): Nick G. Tarlson
Hearing Site: San Francisco, CA
| | $17,384 |
| 12-02710 | 05/17/2013 | Claimant(s): Gabriel and Mary T. Frangione JTTENROS
Claimant Lawyers(s): Gabriel Frangione
Respondent(s): Edward Buecker, RBC Capital Markets LLC
Respondent Lawyers(s): Patrick J. Howley
Arbitrator(s): Louis H. Miron
Hearing Site: Newark, NJ
| | $15,274 |
| 10-05138 | 05/16/2013 | Claimant(s): Bonnie Shaw, Thomas Shaw
Claimant Lawyers(s): Geoffrey C. Brown
Respondent(s): Merrill Lynch Pierce Fenner & Smith Inc.
Respondent Lawyers(s): Dominick F. Evangelista
Arbitrator(s): Mary D. Stevenson, Sarah R. Cole, John T. Meredith
Hearing Site: Columbus, OH
| | $0 |
| 12-00536 | 05/16/2013 | Claimant(s): Gary Kern
Claimant Lawyers(s): Gary W. Kern
Respondent(s): A.G. Edwards & Sons.
Respondent Lawyers(s): Damian J. Betz
Arbitrator(s): Ronald H. Walton, Steele Thomas Williams, Oliver J. Janney
Hearing Site: Tampa, FL
| | $0 |
